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Compliance VP, ETF & Registered Funds.

howardsloan searchBrooklyn, NY

19 days ago

Occupations

Compliance ManagersCompliance OfficersSecurities, Commodities, and Financial Services Sales Agents

Industries

Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesTrust, Fiduciary, and Custody Activities
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About the role

VP, Compliance – ETFs & ‘40 Act Registered Funds A fast-growing global Fin-Tech wealth & asset management firm is hiring a Compliance Officer for their ETF, Alternative Investments Fund-of-Funds & 40's Act Registered Funds businesses. This is a hands-on, visible role, provindg regulatory & compliance advisory coverage on ETFs & registered funds & and its NFA/CFTC-registered commodity pools.
Responsibilities:
  • Act as SME on the Investment Company Act, the Advisers Act and Rule 6c-11 for ETFs and registered funds
  • Oversee the funds’ compliance and governance framework, and ensure the funds follow their governing documents
  • Advise on new regulations affecting ETFs, including derivatives, valuation and liquidity rules
  • Collaborate with Product, Portfolio Management & Operations on how products are structured, on investment strategies and on disclosures
  • Review marketing materials to make sure alignment with fund disclosures, regulations and internal policy
  • Update policies, procedures and controls in accoradance with regulatory requirements
  • Oversee product-specific requirements, including disclosure monitoring, premium/discount reporting and regulatory filings
  • Monitor trades after execution, test portfolios against their guidelines, and support best execution and trading oversight
  • Run compliance testing and reporting, and track issues until they’re fixed
  • Coordinate reviews of outside service providers: administrators, custodians, legal counsel and auditors
Requirements:
  • 10+ years of compliance experience in financial services, including ETFs, derivatives and alternatives
  • Deep knowledge of the ‘40 Act, the Advisers Act, the ‘33 Act, the ‘34 Act, and SEC, CFTC, NFA and FINRA rules
  • Hands-on work with Rule 38a-1 and Rule 206(4)-7 compliance programs
  • Experience running compliance programs for investment companies, investment advisers and NFA/CFTC registrants
  • Direct experience with SEC, FINRA and/or NFA exams or inquiries
  • Series 7 and 24 preferred

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JOB OVERVIEW

Experience level

Manager

Location

Brooklyn, NY

Occupation

Compliance Managers

Industry

Portfolio Management and Investment Advice

Posted

19 days ago

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